Remote Branch Office Compliance Examiner

Corebridge Financial; Mississippi; On-site; USD 65,000 - 75,000; Full time

Benefits offered by this job

Health insurance

401(k) match

Volunteer time off

Paid time off

Job summary

Corebridge Financial is seeking a seasoned Compliance Examiner to conduct broker/dealer examinations and ensure adherence to industry rules across the United States. The role requires independent work, travel up to 50%, and clear communication with branch management and staff.

You will prepare examinations, analyze reports, draft timely findings, and educate teams on rules and firm policies, with opportunities to train new examiners and handle for-cause reviews.

Qualifications

• 3+ years Financial Services industry experience - Compliance or Branch Exams experience preferred.
• Detailed knowledge of the retail brokerage business, investment advisory business, and common investment products - including mutual funds, variable annuities, stocks, and bonds.
• FINRA Series 7 is required.
• FINRA Series 24 license is strongly preferred or must be obtained within 90 days of employment. Two testing opportunities will be allowed.
• Strong verbal and written communications skills required.
• Proficiency in MS Office, including Word, PowerPoint, Excel and OneDrive.
• Proficiency in Smarsh and RegEd preferred.
• High school diploma required; college degree strongly preferred.
• Must be extremely detail-oriented, investigative and can work independently.
• Must be able to deliver negative results in a professional manner.
• Must have the ability to travel to visit branch offices throughout the United States in business attire throughout the year; carry luggage, a briefcase, company furnished cell phone and company furnished laptop.

Responsibilities

• Conduct approximately 75-125 comprehensive examinations per year.
• Travel independently up to 50% of the time.
• Schedule and discuss exam expectations with the branch management.
• Prepare for each exam by generating and analyzing various reports and conducting comprehensive pre-examination research.
• Review exam findings with branch management.
• Draft and issue high quality examination reports in a timely manner.
• Educate OSJ Managers, Financial Advisors and support staff on various industry rules, regulations and firm policies during the exam.
• Interpret the Written Supervisory Procedures, FINRA manual, Compliance notices and other publications concerning broker/dealer regulation.
• Assist in the training of new examiners and field management as needed.
• Perform for-cause exams as needed.
• Present to multiple parties, including field management and upper management as needed.
• Submit expense reports in a timely manner.
• Archive documentation and supporting paperwork upon conclusion of examinations.

Skills

FINRA Series 7

FINRA Series 24

Travel up to 50%

MS Office

Detail-oriented

Strong communication

Independent worker

Education

High school diploma

College degree preferred

Tools

Smarsh

RegEd

Job description

Corebridge Financial is seeking a seasoned Compliance Examiner to conduct broker/dealer examinations and ensure adherence to industry rules across the United States. The role requires independent work, travel up to 50%, and clear communication with branch management and staff.

You will prepare examinations, analyze reports, draft timely findings, and educate teams on rules and firm policies, with opportunities to train new examiners and handle for-cause reviews.